Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sue? Claim Your ProfileSue Sullivan is a financial advisor with over 25 years of experience in the industry. Sue is currently registered with UBS Financial Services Inc. and is licensed to provide financial advice in New Jersey and New York. Sue has held previous positions at J.P. Morgan Securities LLC, UBS Financial Services Inc., and Citigroup Global Markets Inc. Sue offers a variety of financial planning and advisory services to individuals, businesses, pension and profit-sharing plans, insurance companies, charitable organizations, and high net worth individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
11/08/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
04/21/2015 - 03/26/2020
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
09/20/2005 - 04/23/2015
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
12/20/2000 - 09/21/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
08/02/1995 - 11/27/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 07/07/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/09/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/30/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1997
Series 3 - National Commodity Futures Examination
BC
Issued 08/01/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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